ELECTRONIC RECORDS MANAGEMENT AND ARCHIVES MANAGEMENT POLICY

Transcription

1 AGENCIES ELECTRONIC RECORDS MANAGEMENT AND ARCHIVES MANAGEMENT POLICY Guidelines on Electronic Records Management NATIONAL ARCHIVE OF MALAYSIA

2 ARKIB NEGARA MALAYSIA Projek Pemeliharaan Rekod Elektronik Sektor Awam (e-spark) Project Documentation Guidelines on Electronic Records Management

3 Guidelines on Electronic Records Management Preface This Guideline was produced as a result of the e-spark initiative. Sponsored by the Arkib Negara Malaysia and involving departments and agencies from across the Government of Malaysia, the purpose of this initiative was to develop policies, standards and practices, technical specifications and training plans to enable the Government of Malaysia to manage records in electronic form. Also included was a strategic plan reflecting the roles and responsibilities of public offices and various central and lead agencies. The Arkib Negara Malaysia, within its legislative mandate to facilitate the management of records in any physical form and to acquire, preserve and make available those of archival value, is the lead department responsible for facilitating the government-wide management of electronic records. In this capacity and in cooperation with other central agencies and public offices, it is responsible for issuing standards and guidance to public offices on the management of electronic records. Guidelines on Electronic Records Management was produced by the Arkib Negara Malaysia to help public offices to manage electronic records. More specific guidelines addressing the management of electronic records in specific environments are also available. These are as follows: Managing Electronic Records in the Unstructured Environment, Managing Electronic Records in the Structured Environment, and Managing Electronic Records in the Web Environment. All are available from the Arkib Negara Malaysia. These guidelines should also be used in conjunction with Electronic Records and the Akta Arkib Negara 2003 (available from the Arkib Negara Malaysia). This publication supports the implementation of the Akta Arkib Negara 2003 and the requirement by government departments not to dispose of their records without the approval of the National Archivist and to transfer records assessed as having archival value to the control of the Arkib Negara Malaysia. For additional information, please contact: Arkib Negara Malaysia, Jalan Duta, Kuala Lumpur Tel Fax Web Site: Copyright Arkib Negara Malaysia i

4 Table of Content 1 INTRODUCTION 1 2 CONCEPTS AND DEFINITIONS Introduction Purpose of a Record Attributes of a Record Authenticity Reliability Integrity Usability Accuracy, Adequacy and Completeness Principles for Electronic Records Management Conditions for Electronic Records Management Records are captured Records are maintained Records are usable Business process environments 11 3 MANAGING ELECTRONIC RECORDS Creating Electronic Records Creating Information About Electronic Records Determining How Long to Keep Electronic Records Storing Electronic Records Securing Electronic Records Preserving Electronic Records for the Long Term Planning for technological obsolescence Creating an electronic records preservation strategy Techniques for electronic records preservation Choosing an approach to electronic records preservation When should a digital preservation treatment be applied? Planning to implement a preservation strategy Implementing the preservation strategy Requirements for a successful preservation strategy The Arkib Negara Malaysia approach to digital preservation Providing access to electronic records in agency custody Provision of secure access to electronic records Determining when a digital record can be open for access Disposing of Electronic Records Obtaining approval for the disposal of electronic records Methods of disposing of electronic records Disposal in digital systems Transferring electronic records to the Arkib Negara Malaysia Transferring electronic records between agencies 38 Copyright Arkib Negara Malaysia ii

5 3.8 Destruction of electronic records Deletion is not destruction Methods of destroying electronic records Retaining electronic records permanently within public offices Retaining archival value electronic records in agency custody Documenting records management processes 40 4 GOVERNANCE Governance of Electronic Records Initiatives Problem Definition Cost Benefit-Analysis Project Initiation Requirements Design Implementation Maintenance Review and Evaluation (Quality Assurance) Governance of Electronic Records Management Programs Governance at the Government-wide level Governance at the level of the public office 49 5 SPECIAL TOPICS Electronic Records and Business Continuity Establishing a business continuity plan Counter disaster strategies System backups Vital records Electronic records of archival value Managing Encrypted Electronic Records Record keeping for encrypted records Key management Recordkeeping, security and information management framework Policy and strategy Identify record keeping requirements Assign responsibilities to records, business and IT managers Records to be retained as national archives Managing Electronic Records Created Outside Public Offices 64 Appendix 1 Key Concepts and Terms 66 Appendix 2 Definitions 74 Appendix 3 Managing Storage Media for electronic records 79 Copyright Arkib Negara Malaysia iii

6 Guidelines on Electronic Records Management 1 Introduction Records in electronic form are valuable assets that can be lost or destroyed unless they are managed as an asset. Records are created, received and maintained in the conduct of business activities. To support the continuing conduct of business, satisfy applicable legal requirements, and provide necessary accountability, public offices must create and maintain authentic, reliable and usable records, and protect the integrity of those records for as long as they are required to exist. To do this, public offices should institute and carry out a comprehensive records management program, which includes 1 : a) Determining what records should be created, what information needs to be included in the records, and what level of accuracy is required. b) Deciding in what form and structure records should be created and captured. c) Determining requirements for retrieving and using records and how long they need to be kept to satisfy those requirements. d) Deciding how to organize records so as to support requirements for use. e) Ensuring that records are created and maintained in accordance with these requirements. f) Preserving the records and making them accessible over time, in order to meet business and societal requirements. g) Complying with legal and regulatory requirements, applicable standards and organizational policy. h) Ensuring that records are retained for as long as required. The Government of Malaysia and the Arkib Negara Malaysia (ANM) have reached an established level in the area of records management and archives management for paper / conventional records. ANM has the capability and expertise, coupled with strong principles in records management and archives management as well as efficient methods, tools and procedures to ensure that public records and archives are well maintained and preserved. As the Government of Malaysia shifts increasingly to electronic service delivery channels, ANM is extending its capacity to support the archival management of electronic records. The Akta Arkib Negara 2003, which forms the basis of this guideline, amends the Akta Arkib Negara 1966 to include records created electronically. Where existing international or other standards exist, they inform the guidelines specified below. 1 These attributes are derived from ISO 15489, Information and Documentation Records Management, 2001 Copyright Arkib Negara Malaysia Page 1 of 86

7 Following this introduction, Section 2 provides an overview of the concepts and definitions that underpin the guidelines described in subsequent sections. Section 3 provides general guidance on the management of electronic records throughout their life cycle (i.e. creation, preservation, use, disposition). Section 4 presents a checklist of management and governance considerations that should be addressed to ensure that a sustainable program for the management of electronic records is in place. Section 5 addresses specific topics such as the management of encrypted records. Specific guidance on the management of electronic records in specific business process environments can be found in three companion guides: Managing Electronic Records in the Structured Environment Managing Electronic Records in the Unstructured Environment Managing Electronic Records in the Web Environment For additional information please contact: Arkib Negara Malaysia, Jalan Duta, Kuala Lumpur Tel Fax Web Site: Copyright Arkib Negara Malaysia Page 2 of 86

8 2 Concepts and Definitions 2.1 Introduction This Section describes some of the basic concepts associated with recordkeeping and the management of electronic records. It is a foundation section upon which the standards provided in subsequent Sections can be understood more clearly. According to the Akta Arkib Negara 2003 and in accordance with the Policy on the Management of Electronic Records, "records" means materials in written or other form setting out facts or events or otherwise recording information and includes papers, documents, registers, printed materials, books, maps, plans, drawings, photographs, microfilms, cinematograph films, sounds recordings, electronically produced records regardless of physical form or characteristics and any copy thereof; "public records" means records officially received or produced by any public office for the conduct of its affairs or by any public officer or employee of a public office in the course of his official duties and includes the records of any Government enterprise and also includes all records which, on the coming into operation of this Act, are in the custody or under the control of the National Archives of Malaysia established under the Akta Arkib Negara 1966 [Act 511 ]; Electronic government records are those records that fulfill these criteria and which are created and maintained in electronic format. 2.2 Purpose of a Record The purpose of a record is to serve as an authoritative, authentic, and reliable source of information and as the means of documenting decisions. Adequate records enable public offices to 2 : Conduct business in an orderly, efficient and accountable manner. Help deliver services in a consistent and equitable manner. Support and document policy formation and managerial decision-making. 2 Derived from ISO 15489, Information and Documentation Records Management, 2001 Copyright Arkib Negara Malaysia Page 3 of 86

9 Provide consistency, continuity and productivity in management and administration. Facilitate the effective performance of activities through an organisation. Provide continuity in the event of a disaster. e-spark Meet legislative and regulatory requirements including archival, audit and oversight activities. Provide protection and support in litigation including the management of risks associated with the existence of or lack of evidence of organizational activity. Protect the interests of the organization and the rights of employees, clients and present and future stakeholders. Support and document current and future research and development activities, developments and achievements, as well as historical research. Provide evidence of business, personal, and cultural activity. Establish business, personal and cultural identity. Function as corporate, personal or collective memory. Records are an integral part of business processes and must be managed and retained for as long as they are needed to support the functions of the government and to provide evidence of decisions and activities (see Figure 2.1). MANDATE Govern Establish Competencies of Are Responsible for BUSINESS Account for Execution of Are Evidence of PEOPLE (AGENTS) Authenticate Serve as: Authoritative Sources of Information Collective and Corporate Memory RECORDS Figure 2.1: Records as an Integral Part of the Business Activity Copyright Arkib Negara Malaysia Page 4 of 86

10 2.3 Attributes of a Record 3 In order to serve as reliable evidence of decisions and activities, records must have the following qualities: Authenticity An authentic record is one that is proven both to be what it purport to be and to have been created or sent by the person who purports to have created or sent it. To demonstrate the authenticity of records, public offices should implement and document policies and procedures which control the creation, transmission and maintenance of records to ensure that records creators are authorized and identified and that records are protected against unauthorized addition, deletion and alteration. To be authoritative, a record should be created at the time of the transaction or incident to which it relates, or soon afterwards, by individuals who have direct knowledge of the facts or by instruments routinely used within the business to conduct the transaction Reliability A reliable record is one whose contents can be trusted as a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities Integrity The integrity of a record refers to its being complete and unaltered. It is necessary that a record be protected against alteration. Records management policies and procedures should specify what additions or annotations may be made to a record after it is created, under what circumstances additions or annotations may be authorized, and who is authorized to make them. Any authorized annotation or addition to a record made after it is complete should be explicitly indicated as annotations or additions Usability A useable record is one, which can be located, retrieved, presented and interpreted. It should be capable of subsequent presentation as directly connected to the business activity or transaction, which produced it. The contextual linkages of records should carry the information needed for an understanding of the transactions that created and used them. It should be possible to identify a record within the context of broader business activities and 3 These attributes are derived from ISO 15489, Information and Documentation Records Management, 2001 Copyright Arkib Negara Malaysia Page 5 of 86

11 functions. The links between records that document a sequence of activities should be maintained Accuracy, Adequacy and Completeness A record should correctly reflect what was communicated, decided or done. It should be able to support the needs of the business to which it relates or it evidences so that it can be used for accountability purposes. A record should contain not only the content, but also the metadata necessary to document a transaction, as follows: The structure of a record, that is, its physical and logical format and the relationships between the data elements comprising the record, should remain physically or logically intact The context in which the record was created, received and used within business should be apparent in the record (including the business process of which the transaction is part, and the participants in the transaction) The links between documents, held separately but combining to make up a record, should be present. 2.4 Principles for Electronic Records Management The following principles govern the management of electronic records: Electronic records are assets that need to be managed with the same diligence as any other asset. The management of electronic records is not a problem that needs to be solved. Its effective implementation in support of program/ service delivery, decision-making, etc., should be viewed from the perspective of the extent to which it can lead to cost savings, cost avoidance, risk reduction and opportunity gain. An electronic records management infrastructure is function driven. The requirements of a government program or strategic direction drive the decisions about what records need to be created, collected, acquired, etc. and how electronic records should be used, preserved and systematically disposed. While the introduction of computer technologies will change the nature of the records and may even conceivably lead to the de facto record of Government functions becoming electronic, the management principles remain the same. Copyright Arkib Negara Malaysia Page 6 of 86

12 The nature of the work of electronic records management and its associated competencies define the electronic records management community. While registry personnel are central to the community, other communities such as information technology, audit, the officials responsible for the delivery of government programs and services and those involved in the private sector in providing records management technologies and services are also involved and must be considered when developing awareness and education/ training programs. The management of electronic records is the responsibility of all individuals. Electronic records are susceptible to loss and destruction because of: The fragility of the media upon which they are recorded. The dependency on technology that changes through time. The absence of contextual information (metadata) that permits the records to be understood. The absence of assigned accountability for the proper management of the records. If these issues are not addressed then the following negative impacts will result 4 : Reduced program effectiveness and efficiency when program-related information in electronic records is inaccurate, incomplete or out-of-date. Increased administrative costs when electronic records collection and storage are duplicated, when they are kept too long or when they cannot be found and must be reconstructed. The inability to assess program impacts when performance-related electronic records are not kept. Increased legal, financial or political risk when the evidence contained in electronic records is unavailable or is not credible. Wasted investment in technology when government is unable to establish trustworthy electronic recordkeeping environments. Gaps in the government s corporate memory when electronic records with long-term value have not been preserved or are not usable. 4 These impacts were expressed in, Case for Action for Information Management, National Archives of Canada, 2002 Copyright Arkib Negara Malaysia Page 7 of 86

13 2.5 Conditions for Electronic Records Management 5 The requirements for record keeping that are described in the following section represent a set of conditions that must be met if electronic records are to be authentic and reliable and to serve the purposes for which they were created and retained. They are in the form of a checklist that can be used by program managers and staff, applications systems developers, registry staff, LAN administrators, web masters and others to assess the extent to which these conditions are being met for the capture, maintenance, and preservation of electronic records Records are captured Records have been created by all business transactions. Communications in the conduct of business between two people, between a person and a store of information available to others, and between a source of information and a person, generate a record. Data interchanged within and between computers under the control of software employed in the conduct of business created a record Records are identifiable. They are related to a transaction which used all the data in the record and only that data. There exists a discrete record, representing the sum of all communications associated with a business transaction. All data in the record belongs to the same transaction. Each record is uniquely identified. Records are complete. They contain the content, structure and context generated by the transaction they document. Records are accurate. The content of records is quality controlled at input to ensure that information in the system correctly reflects what was communicated in the transaction. Records are understandable. The relationship between elements of information content is represented in a way that supports their intended meaning. Records are meaningful. The contextual linkages of records are in place to carry information necessary to correctly understand the transactions that created and used them. 5 The following conditions were adapted from the Pittsburgh requirements developed as a result of the project, Business Acceptable Communications (also known as the Pittsburgh Project), University of Pittsburgh, Copyright Arkib Negara Malaysia Page 8 of 86

14 The business rules for transactions, which minimally locate the transaction within a business function, are maintained. A representation of the source and time of the transaction which generated a record is maintained. Links between records which comprised a business activity are retained. Records are authentic. Authorized records creators originated all records. All records have creators which are documented. Records creators have been authorized to engage in the business transaction that generated the records Records are maintained Records are preserved. The records continue to reflect content, structure and context within any systems by which the record are retained over time. Records are inviolate. Records are protected from accidental or intended damage or destruction and from any modification. Data within a record are not deleted, altered or lost once the transaction which generated it has occurred. Records are coherent. The information content and structure of records is retained in reconstructible relations. If records are migrated to new software environments, content, structure and context information are linked to software functionality that preserves their executable connections or representations of their relations thus enabling humans to reconstruct the relations that pertained in the original software environment. Logical record boundaries are preserved regardless of physical representations. Records are auditable. The context of the records represents all processes in which the records participated. All uses of records are transactions. Transactions which index, classify, schedule, file, view, copy, distribute, or move a record without altering it are documented by audit trails attached to the original record. Transactions which execute a records disposition instruction whether for retention or destruction are documented by audit trails attached to the original record. Copyright Arkib Negara Malaysia Page 9 of 86

15 Records are removable. The record s content and the structure supporting the meaning of the content may be deleted by authorized individuals (i.e. in accordance with approved retention and disposal schedules). Authority for deletion of record content and structure exists. Deletion transactions are documented as audit trails. Deletion transactions remove the content and structural information of records without removing audit trails reflecting context Records are usable Records are exportable. Records may be transmitted to other systems without loss of information. The export import facility has facilities to determine the elements of records metadata, the record content, the associated history data, etc and the sequence that is exported and then imported. Exporting protocols are reversible or the lost functionality is represented in a fashion that produces the same result in the target system as in the originating environment. Records are accessible. It is possible to output record content, structure and context. Records are available. It is possible to retrieve records. Records are renderable. Records are displayed, printed or abstractly represented as they originally appeared at the time of creation and initial receipt. The structure of data in a record appears to subsequent users as it appeared to the recipient of the record in the original transaction or a human meaningful representation of that original rendering accompanies the presentation of the original content. Records are evidential. Records reflect the context of their creation and use. Human meaningful representation of the contextual audit trail of a record accompanies all displays or printed output. Records are redactable? Records are masked when it is necessary to deliver censored copies and the version as released is documented in a linked transaction. The release of redacted versions of a record is a discrete business transaction. The fact of the release of a redacted version of a record is an auditable use of the original record and therefore results in creation of an audit trail with a link to the transaction which released the redaction. Copyright Arkib Negara Malaysia Page 10 of 86

16 These conditions must be met if the records required in support of the business and accountability requirements of a public office are to be captured, used, and maintained as authentic and reliable records through time. 2.6 Business process environments These conditions and the means by which they can be addressed need to be situated within the context of the business process environments supported in most public offices. While it is recognized that all three environments are expected to converge over time, most public offices are still supporting environments that are relatively distinct. The environments are as follows: Unstructured Environment where business processes and workflow are not clearly defined, the user has relative autonomy over what information is created, sent and stored (e.g. as and attachments) and accountability for the management of information (including information in records ) is unclear. This is the world of and other electronic documents that are generated without the benefit of structured work processes or rules of the road. Typically it is a user driven world where the user has autonomy concerning what gets created, how it is transmitted and how it is stored and otherwise managed. The absence of workflow within which records/documents (regardless of their physical form) can be placed in a context presents a substantial challenge from a recordkeeping perspective. Electronic recordkeeping solutions tend to be derived from the world of paper based records management. Structured Environment where business processes are typically highly structured, wellestablished tools and techniques are employed to develop application systems supporting the processes, and accountability for the design, development and maintenance of systems (including the integrity of the data generated in the systems) has been assigned. This is the systems world where the processes for carrying out the business of the public office have been heavily structured, where accountability for the design, development and maintenance of the systems supporting these processes has been assigned and where the accuracy and reliability of the data generated and managed in these systems must be ensured in order to support the overall integrity of the systems. The management of electronic records should work best in this kind of environment because a platform of accountability, defined work processes and business rules and a codified approach to systems and data design has been established. It doesn t always succeed (which is why there are issues - often related to retention, disposition and long-term preservation - connected with this environment) but at least a framework of policies, standards and practices, systems and technologies and people exists to manage the processes and the multiple forms of information (including records) generated by the processes. Usually, in the absence of an adequate understanding of the record keeping issues in this environment, solutions tend to be derived from the world of systems development and data management. Copyright Arkib Negara Malaysia Page 11 of 86

17 Web Environment where work processes are generally associated with the publication and communication of information (though this is changing rapidly with the advent of E- Government initiatives) and the role of the web master is dominant. This is a rapidly evolving environment. It is the world of web content in which, in the earliest stages of web site evolution, organizations find themselves publishing content onto the web (ergo the issues in this environment tend to be derived from the world of communications, publishing, marketing and library services). But in this era of E-Government, they are also finding themselves managing records that have emerged from defined work processes such as those connected with the development of policy (e.g. the preparation of various drafts of a consultation document placed on the web site or the handling of enquiries placed via the facility featured on most web sites similar to correspondence management ). Pursuant to the agenda established for many e-government initiatives, many organizations are evolving even further by turning their web sites into gateways or portals in order to support on-line transaction processing (e.g. e-filing of tax returns). In the early stages of web site evolution, any record keeping-related issues are expressed as content management issues (e.g. authenticity, reliability, integrity, security, etc.) and solutions tend to be derived from the publishing/communications world. In later stages both the issues and the solutions may be more closely aligned with the worlds of records management, data management and applications systems development. Over the longer term, the web environment will reflect the convergence of multiple business processes, multiple disciplines and multiple (increasingly integrated) solutions. Copyright Arkib Negara Malaysia Page 12 of 86

18 3 Managing Electronic Records 6 e-spark 3.1 Creating Electronic Records To support work processes, electronic records should be captured into a corporate system that has recordkeeping capability. Capture is the process of placing a document into a recordkeeping system and assigning metadata to describe the record and place it in context, so that the record can be managed over time. Examples of records are as follows: Correspondence relating to formulation and execution of policies and operating procedures. Commitments, decisions, or approvals for a course of action. Documents that initiate, deliberate, authorize or complete business transactions. Work schedule and assignments. Agenda and minutes of meetings. Drafts of major policies or decisions circulated for comments or approval. Final reports or recommendations. Documents of legal or financial implications. Acknowledgements of receipt of records that document essential transactions. Many types of information generated in the office may not be records. Typical examples are as follows: Copies or extracts of documents that are published or downloaded and distributed for information or reference purposes. Phone message slips Electronic copy of a record of which the paper copy has been filed Trends such as decentralization, the increasing use of technology in administrative processes, and inadequate control over outsourcing arrangements have created challenges for the systematic creation and keeping of records. Conscious effort is required to ensure that records supporting business activities are created and captured in recordkeeping systems. The procedures and practices a public office establishes to capture its electronic records will depend on the recordkeeping systems in use, the types of electronic records generated and the specific recordkeeping requirements the public office must satisfy. Each public office produces numerous types of electronic records during the course of its business activities. Any procedures developed to capture those records into recordkeeping systems will need to cover all common digital objects (e.g. word-processed documents and spreadsheets) while retaining a degree of flexibility to cater for non-standard data formats (e.g. vector graphics). 6 Much of the guidance that follows was derived from Digital Recordkeeping: Guidelines for Creating, Managing, and Preserving Digital Records, National Archives of Australia, consultation draft, May, 2004 Copyright Arkib Negara Malaysia Page 13 of 86

19 The skills and experience of various staff, including information and records management professionals, information technology specialists and others may be needed. Public offices with electronic document and records management software should be able to store most electronic records in their native format within the system. Capture of electronic records within a paper-based or hybrid recordkeeping system presents more difficulty and should be carefully considered by public offices. Two options, neither of which is ideal, are: Assigning an appropriate record number to electronic records within the system and then storing them separately. Printing records such as and word-processed documents and attaching them to the relevant hardcopy file. Approaches such as these may provide a cost-effective interim procedure while a more comprehensive solution is being developed Creating Information About Electronic Records Classification of business activities acts as a powerful tool to assist the conduct of business and in many of the processes involved in the management of records by: Providing linkages between individual records which accumulate to provide a continuous record of activity. Ensuring records are named in a consistent manner over time. Assisting in the retrieval of all records relating to a particular function or activity. Determining security protection and access appropriate for sets of records. Allocating user permissions for access to or action on particular groups of records. Distributing responsibility for management of particular sets of records. Distributing records for action. Determining appropriate retention periods and disposition actions for records. Metadata is data describing the context, content and structure of records and their management over time. Metadata allows users to control, manage, find, understand and preserve records over time. Some examples of metadata are: The title of a record The subject it covers Its format The date the record is created The history of its use Details of its disposal. Copyright Arkib Negara Malaysia Page 14 of 86

20 There are two main categories of metadata that are used to manage electronic records: recordkeeping metadata and resource discovery metadata. Recordkeeping metadata is structured or semi-structured information that enables the creation, registration, classification, access, preservation and disposal of records through time and across domains. Recordkeeping metadata can identify, authenticate, and contextualize records and the people, processes and systems that create, manage, maintain and use them. For electronic records to be preserved over time, adequate recordkeeping metadata must be created, captured and maintained. Some metadata may need to be kept for long-term accountability or transfer to the Arkib Negara Malaysia. Other metadata may be destroyed at the time of the records disposal. One of the primary uses of metadata is to assist in the description of resources and improve methods of information retrieval. Metadata for resource discovery overlaps with and extends beyond the descriptive elements of recordkeeping metadata. Resource Discovery metadata can improve the accessibility of websites, intranets, and web-based services. The different types of metadata are not mutually exclusive. Particular metadata schemas can serve more than one purpose and there is often overlap and interrelationships between metadata schemas. For example, many of the elements required for resource discovery are also used for recordkeeping purposes. Conversely, recordkeeping metadata can be the basis for a classification scheme, controlled vocabulary or thesaurus. These tools help staff choose terms for indexing, titling and retrieving records. Capturing and maintaining good recordkeeping metadata supports digital recordkeeping by: Protecting records as evidence and ensuring their accessibility and usability. Ensuring the authenticity, reliability and integrity of electronic records. Enabling the efficient retrieval of electronic records. Providing logical links between electronic records and the context of their creation, and maintaining the links in a structured, reliable and meaningful way. Allowing timely destruction of temporary-value records when business use has ceased. Providing information about technical dependencies, to help ensure digital records longterm preservation and usability. Recordkeeping metadata will generally be identified, and/or created when digital records are captured into recordkeeping systems. This defines the point at which the information formally becomes a record, fixes it in its context and enables its appropriate management over time. Metadata collected at the point of capture of a digital record should document its content, structure and the context in which it was created. Some metadata may be applied at a system level. For example, all records within a finance system will share the same metadata about the organization creating the record, and the business activity being documented. This metadata can be automatically applied to all Copyright Arkib Negara Malaysia Page 15 of 86

21 records generated within the finance system. Other metadata will be generated as time progresses. Metadata related to business and recordkeeping processes will be added to a digital record during its lifetime. Examples include History of Use (when the record was last viewed, whether it was accessed illegally), Location and Disposal status. Such metadata ensures the continued authenticity, security and integrity of the record. Recordkeeping and business information systems should be designed and implemented with the necessary infrastructure to generate and capture appropriate metadata. Capture and maintenance of metadata should occur as a normal part of business and recordkeeping operations. Where possible, the capture of metadata should be automated. Ideally, systems design should enable the greatest scope for automating the creation and capture of metadata. The greater the automation, the less likely it will be an intrusion on the daily activities of staff. Automation also ensures consistent interpretation of metadata schemas and the capture of more standard metadata, which facilitates records retrieval. In many systems, it is likely that some metadata will be entered manually. Staff will require appropriate training and support to feel confident choosing titles or indexing terms as necessary. Simple procedures and systems that assist users to create metadata will lead to more consistency. Some applications provide semi-automated metadata capture. For example, when capturing an , certain fields may be populated from the header. Users can be prompted to accept or override the data before a record is formally captured into the system. Metadata required to support electronic records may be captured and managed in several ways. The metadata can be: Captured and managed within the recordkeeping or business information system in which the digital record is created and stored. Captured into, and managed within, a separate metadata management system and linked to the relevant digital record. Encapsulated with the digital record, and managed as an integral part of it. Systems that embed or encapsulate metadata into electronic records have several advantages. They enable electronic records to become self-describing and remove the need for retention of metadata in parallel systems. However, this approach has disadvantages for the preservation of long-term records. There may be difficulties separating the data object from its metadata at a later date. Problems may arise when trying to maintain the metadata for disposed records, or converting a digital record to an archival format. Public offices should develop policies and practices to ensure that metadata is created and maintained in an appropriate manner. The aim is to standardize the metadata. Policies and procedures should be articulated in the overall recordkeeping and information management strategy for the organization. Copyright Arkib Negara Malaysia Page 16 of 86

22 Policies and practices on managing metadata should: Assign roles and responsibilities for capturing and managing metadata. Identify metadata elements to be captured. Establish when and how metadata is to be captured. Determine how long metadata needs to be retained. Detail how metadata is to be stored, including consideration of any persistent linkages between metadata elements and the records to which they relate. Ensure that storage is secure and an audit trail of access, usage, and alterations or additions are kept to monitor the integrity and authenticity of the metadata. Include adequate backup procedures and recovery mechanisms and a consideration of disaster management. Provide for the preservation of metadata for as long as it is required. 3.2 Determining How Long to Keep Electronic Records The retention period of a record should: Meet current and future business needs by: o Retaining information concerning past and present decisions and activities as part of the corporate memory to inform present and future decisions and activities. o Retaining evidence of past and present activities to meet accountability obligations. o Eliminating, as early as possible and in an orderly way, records which are no longer required. o Retaining the context of the record which will allow future users to interpret the validity of the records that earlier systems captured and managed. Comply with legal requirements, by ensuring that the regulatory environment applicable to records management for specific business activities is documented, understood and implemented. Meet the current and future needs of external stakeholders by : o Identifying the enforceable or legitimate interests that stakeholders may have in preserving the records for longer than they are required by the public office itself. They may include stakeholders such as business partners, clients and other people affected by the organization s decisions or actions, and others to whom the organization should make its records available to meet accountability requirements, such as auditors, regulatory authorities and investigative bodies, archives authorities or researchers. Copyright Arkib Negara Malaysia Page 17 of 86

23 o Identifying and assessing legal, financial, political, social or other positive gains from preserving records to serve the interests of research and society as a whole. o Following regulations of the competent archival authority where applicable. Records identified for continuing retention are likely to be those which : Provide evidence and information about the public office s policies and actions. Provide evidence and information about the public office s interaction with the client community it served. Document the rights and obligations of individuals. Contribute to the building of a public office s memory for scientific, cultural or historical purposes. Contain evidence and information about activities of interest to internal and external stakeholders. An electronic record must be managed, and remain accessible, for its lifetime. How long an electronic record needs to be kept will influence its management. Given the vulnerable nature of most digital media and the frequency of technology change, long term for electronic records generally means longer than one generation of technology. Electronic records that must be retained for the long term will require active management to ensure their continued accessibility. 3.3 Storing Electronic Records To ensure the ongoing protection of electronic records, public offices require efficient and effective means for maintaining, handling, and storing electronic records both active and inactive over time. Policies, guidelines and procedures for the storage of electronic records should be an integral component of a public office s recordkeeping framework. There are three ways in which public offices may store electronic records online, offline or near-line. Online Online records can be contained on a range of storage devices (e.g. mainframe storage, network attached storage or PC hard drive) that are available for immediate retrieval and access. Generally, records stored online will be active electronic records i.e. records that are regularly required for business purposes. Electronic messaging systems and word-processed documents saved to the network server fall into this category. Offline Offline electronic records are contained on a system or storage device that is not directly accessible through the public office s network and which requires human Copyright Arkib Negara Malaysia Page 18 of 86

24 intervention in order to be made accessible to users. Electronic records that are stored offline are usually retained on removable digital storage media (e.g. magnetic tape, CD, DVD) and are generally inactive electronic records not regularly required for business purposes. Offline electronic records may be stored offsite as part of an agency s business continuity plan. Electronic records stored offline are not immediately available for use. Public offices must take responsibility for monitoring and guarding against environmental degradation and changes in technology that may adversely affect the storage media employed. Near-line Near-line storage of electronic records means the records are contained on removable digital storage media, but remain relatively accessible through automated systems connected to the network. These electronic records are technically considered to be offline. The use of systems such as CD jukebox or magnetic tape silos allow them to be made available through public office networks, in relatively short periods of time and without the need for human intervention (i.e. staff are not required to physically retrieve the storage media on which the required information is retained). Generally, electronic records will begin life as online records and, as the immediate business need to refer to them diminishes over time, they will be moved to either near-line or offline storage, depending upon the technology available to the public office, the ongoing relevance and value of the records and their retention requirements. Based on relevant recordkeeping and business requirements, public offices must decide which electronic records are to be captured and maintained online and which electronic records can be retained in near-line or offline storage. Electronic records of vital significance to a public office, as well as electronic records required for long-term retention within public offices, and electronic records of archival value, should be stored online. Online storage devices, such as network storage devices and mainframe storage, have the following advantages: Electronic records stored online will, in most cases, be retained on the magnetic hard drives that form a public office s network, where they will be readily accessible to users and can be maintained and controlled as an integral part of the public office s recordkeeping system. Large storage capacities allow for significant quantities of electronic records to be retained on a single storage device. Regular integrity checks of electronic records can be more readily performed and, in some instances, it may be possible to automate these tasks. Electronic records stored online have a greater likelihood of being identified and included within any changes made to the IT systems of public offices, such as system-wide migration processes. Online storage devices need not be linked directly to a public office s network. Where security concerns, business considerations or other factors warrant, public offices may opt to establish standalone online storage systems. Increasingly, online storage systems can support sophisticated automated techniques and redundant designs that aid electronic records control, monitoring and backup. Copyright Arkib Negara Malaysia Page 19 of 86

25 The automated nature of near-line systems means that they share many of the advantages of online systems, even though the electronic records stored on near-line systems are retained on physical storage media such as DVDs, CDs and magnetic tapes. Where it is not possible for electronic records to be maintained online, agencies are encouraged to use near-line storage devices, such as CD jukeboxes and magnetic tape silos. For storing electronic records, the Arkib Negara Malaysia does not recommend CDs, DVDs, magnetic tape and other removable digital media formats that are physically maintained, but not accessible from active computer systems. Offline digital storage devices are suitable only for storing relatively low-value electronic records and are not recommended for longterm electronic records, vital records or records identified as being of archival value. Offline digital storage devices present the following challenges. The records are not immediately accessible to users, as the storage media must first be physically retrieved. Individual media need to be labeled and stored in a manner that permits them to be easily accessed. Failure to adequately store removable digital media formats may result in electronic records being physically misplaced or lost. Removable media are less likely to be routinely accessed and may be missed when conducting routine integrity checks. Similarly, offline media are often overlooked when public office systems are upgraded and electronic records are migrated to new formats. This can result in the electronic records contained on offline media becoming inaccessible. Device failure is only detected when an attempt is made to use the records. Regardless of whether public offices adopt an online, offline or near-line storage method, they should take the following into account before selecting a specific storage device. How often and how quickly will the records need to be accessed? Is the proposed storage device versatile and has it the capacity to accommodate the size, number and complexity of electronic records to be stored? Is the longevity, reliability and durability of the proposed storage device sufficient to meet the required retention periods for the electronic records it is to contain? In the case of long-term electronic records, the selected format should be robust and have a clearly definable migration path and widespread industry support to improve the chances of forward compatibility. Are the technical standards associated with the storage device technology open source? Proprietary storage formats may be less widespread and less likely to be sustained and supported over time. Will the selected storage device have any special physical or environmental storage requirements? Do the assessed costs and benefits of the proposed storage device suit the needs of the public office and the electronic records to be stored? Costs include migrating records, the storage device and associated hardware, and any training that may be required. Copyright Arkib Negara Malaysia Page 20 of 86